Michael C. Kaplan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Charles Kaplan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 8 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 4, Series 53, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 1992 - October 7, 1993
CULLUM & SANDOW SECURITIES, INC.
October 18, 1989 - February 11, 1992
CULLUM & SANDOW, INC.
February 5, 1988 - June 12, 1989
GILLESPIE & HOLLAND, INC.
July 17, 1985 - September 9, 1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 12, 1984 - August 5, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1980 - October 16, 1984
MORGAN STANLEY DW INC.
September 26, 1978 - January 2, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 25, 1970 - April 15, 1971
BELL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 6/20/1970
Registered Representative ExaminationSeries 12
Date: 7/28/1980
NYSE Branch Manager ExaminationCurrent Firm
CULLUM & SANDOW SECURITIES, INC.
CRD#: 15836 / SEC#: , 8-32818
Contact information
Documents
Red Flags
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